ISM-IsPS Pocket Checklist - Revision 2

Working together
for a safer world
ISM and ISPS pocket checklist

Revision 2
Reducing the risk of port state control detentions
In conjunction with:
Introduction
Port state control (PSC) detentions due to safety management system failures are becoming
more common as the authorities group deficiencies together to justify detaining a ship.
The objectives of the International Safety Management (ISM) Code are to ensure safety at
sea, prevention of human injury or loss of life, and avoidance of damage to the environment
and property. The objectives of the International Ship and Port Security (ISPS) Code are to
ensure security of ships and port facilities. The ship operator is responsible for implementing
an effective safety and security management system to ensure these objectives are met. By
doing this, the risk to the fleet can be minimised and costly fines and PSC detentions can
be avoided. Effective implementation of ISM and ISPS will protect the fleets reputation and
help get the most from the companys resources.
In conjunction with an industry partner, the UK P&I Club, we have compiled this checklist
following analysis of ISM and ISPS deficiencies found by PSC officers.
To help reduce the risk of your ship being detained, as a minimum, we would
strongly recommend that you include the items on the chart on page 4 as
part of your final checks before voyage and port entry. These checks will help
to ensure that the items continue to conform to international convention
requirements. It is strongly advised that all other items in this checklist are
checked on an ongoing basis.
This is the fifth in our series of pocket checklists to help you comply with international
convention requirements. For information about the other checklists in the series please
visit www.lr.org/psc or www.ukpandi.com
Latest news on classification and regulatory matters which affect you, including port
state control, is published in our Classification News bulletins. To subscribe to this
service go to www.lr.org/classnews
Lloyds Register Group Limited, its affiliates and subsidiaries and their respective officers, employees
or agents are, individually and collectively, referred to in this clause as Lloyds Register. Lloyds
Register assumes no responsibility and shall not be liable to any person for any loss, damage or
expense caused by reliance on the information or advice in this document or howsoever provided,
unless that person has signed a contract with the relevant Lloyds Register entity for the provision
of this information or advice and in that case any responsibility or liability is exclusively on the
terms and conditions set out in that contract.
ISM and ISPS Revision 2 Page 2

Lloyds Register Group Limited/UK P&I Club, 2014
Are you prepared for a port state control
inspection?
PSC officers always commence their inspection in the Masters office. It is essential
that certification is up-to-date, original and valid. All other necessary documents
and manuals should, where required, be approved and on board.
If equipment is broken or missing, or if the ship has suffered damage en-route,

the Master must notify the port authorities prior to port entry. If the port
authorities are informed of the problem and of any permanent or temporary
remedies agreed with the flag administration, the vessel should not be detained.
However, if notice is not given before entry, the port state has clear grounds for
inspecting the vessel, possibly leading to a detention.
If your ship is detained, or appears to be in the process of being detained, you

should contact the nearest Lloyds Register office immediately for assistance.
The major PSC organisations publish their criteria for targeting a ship on their
websites. Ship owners and operators should use these criteria to calculate the
target rating of their ships.
Paris MOU www.parismou.org

Tokyo MOU www.tokyo-mou.org
USCG http://homeport.uscg.mil/mycg/portal/ep/home.do
Other MOUs include Abuja, Black Sea, Caribbean, Indian Ocean,

Mediterranean, Riyadh and Vina del Mar.
A ship operator may disagree with the findings of the PSC authority. If this is the
case, the majority of the regional PSC organisations have guidelines on how to
appeal against a detention. These can also be found on the above websites.
The 2012 edition of IMO Procedures for Port State Control also provides
guidelines on detentions. [ISBN: 978-92-801-1550-5]

ISM and ISPS deficiencies
The following are the most common ISM/ISPS deficiencies (by number) found by

port state control officers during the period 2010-2012 on ships classed by Lloyds
Register.
Maintenance of the ship and equipment (131)
Development of plans for shipboard operations (69)
Reports and analysis of non-conformities, accidents and hazardous occurrences (29)
Emergency preparedness (26)
Company responsibility and authority (20)
Masters responsibility and authority (20)
Resources and personnel (20)
Documentation (14)
ISM-related deficiencies (14)
Other (ISM) (11)
Company verification, review and evaluation (9)
Certification, verification and control (7)
Safety and environmental policy (7)
Designated person(s) (4)

1. First impression
The first impression the port state authority gains is very important. It will set the
scene for any inspections that take place. Take note of the following:
1. Gangway and moorings

in good condition
rigged as required (e.g. wires, steps, gangway net, bottom
stanchions, manropes)
clean (e.g. no grease from fall wires on steps, handrails, manropes)

2. Access control
identification check (check for photo ID)
visitors log maintained
restricted areas controlled
3. Appearance of gangway watch, officers

and crew
neat working clothes
A rigged gangway
appropriate personal protective equipment
professional attitude

4. Appearance of accommodation and outside decks
clean
tidy
well-illuminated
non-slip walkways on outside decks
5. PSC Officer should be accompanied by senior officer(s) during

inspection/tour of the vessel
the accompanying officer(s) should have keys readily available to
access secured areas and lockers

2. Certificates and documents
The following certificates and documents must be valid, carried on board and
available for review:
Certificates
1. All required classification, statutory and other trading
certificates are readily available
2. A copy of the companys Document of Compliance (DoC) with

the endorsements for annual verifications
3. Safety Management Certificate (SMC)
4. International Ship Security Certificate (ISSC)
5. The latest issue of the Continuous Synopsis Record (CSR) (see

also Note 1). The file of previously issued CSRs is complete
Notes:
1. The name, company ID number, address of the company and ship type
must be the same on the SMC, DoC, ISSC and CSR.
2. Reference to required certification and documentation can be found in
MSC/Circular.1151 (as amended or superseded).

2. Certificates and documents continued
Documents
6. All ISM manuals, procedures and instructions are available in
the latest revisions

7. A copy of the companys Safety and Environmental Protection
Policy is available

8. All records required by the ISM procedures are available and
completed as required
9. Ships library, documentation and manuals are valid, complete

and available as applicable and as required by the procedures
and flag administration
10. The approved Ship Security Plan (SSP) is available, including

evidence of the approval (Approval Letter and Report)
Notes:
1. The relevant procedures, instructions and records must be in the working
language of the ship or in languages understood by all personnel.
2. Evidence that the SSP has been submitted for approval may be acceptable
in special circumstances.
3. All officers and crew should have access to the relevant procedures and
instructions, including the life saving appliances and fire safety training
manuals that should be available in the officers and crew lounges.
4. It is recommended that notice boards are kept up to date to highlight
safety bulletins, procedural changes, contact details, work and rest hours
and other relevant information.

3. System management
The effectiveness of the Safety Management System is to be analysed and
reviewed. Opportunities for improvement of the system are to be identified and
implemented. The following are some of the main ways of achieving this:
1. The Masters reviews are carried out as required and identified

action items are addressed
2. Internal audits are held as required by the Safety Management

System (SMS), at intervals not exceeding twelve months.
Reports are to be made available on board
3. External audits are held as required by the ISM Code. Reports

are available on board
4. Procedures for reporting non-conformities, accidents, incidents

and near misses, analysis and follow-up are implemented.
Required corrective and preventive actions are carried out and
verified for satisfactory implementation
5. All identified risks to the companys ships, personnel and

the environment are assessed and appropriate safeguards
established. Evidence of the risk assessments is available.
Reviewing the Safety

Management System

4. Resources and personnel
Ensuring that personnel are competent, qualified, medically fit, well rested and
fully familiar with their duties and responsibilities is a key aspect of an effective
safety management system.
1. The number of personnel meets the requirements of

the Minimum Safe Manning Document and the vessel is
appropriately manned to maintain all aspects of safe operation
2. Up-to-date crew list is available

3. Standards of Training, Certification & Watchkeeping (STCW)
certification is available as required for all personnel
4. Medical fitness certificates are available for all personnel
5. Crew members have received familiarisation and other

required training
6. Crew members are familiar with:

the companys Safety and Environmental Protection Policy
their duties and responsibilities as identified in the Safety
Management System (SMS) and in the Ship Security Plan (SSP)

7. Officers are familiar with the identity, duties and contact
details of the Designated Person Ashore (DPA)
8. The Ship Security Officer (SSO) is trained and certified in

accordance with STCW requirements and is familiar with his
or her duties

4. Resources and personnel continued
9. All personnel can communicate effectively in the working

language of the ship or in another language readily understood
10. Work and rest hours are as required and accurate records
are available
11. The Masters responsibility and authority is clearly defined,

documented and understood
Notes:
1. All required certification and seafarer documentation should be available
as originals.
2. STCW certification includes Certificates of Competency, Certificates
of Equivalent Competency or evidence of application for same /
Confirmation of Receipt of Application, ship type specific endorsements.
3. Evidence is to be available to show that all seafarers have received the
necessary training for all their duties, including shipboard specific duties.
Records of familiarisation when joining the vessel should also be kept.

Alert! is a quarterly newsletter which raises awareness of human element
issues. Alert! and an associated website www.he-alert.org describe and
illustrate the human element within every aspect of the maritime industry,
from equipment manufacturers to ship owners to naval architects to seafarers.

5. Inspection and maintenance
Maintenance of the ship and equipment is the most common ISM deficiency
found by PSC officers. The ship and all equipment are to be inspected regularly,
well maintained and ready for operation at all times.
1. Inspection and preventative maintenance of all equipment,

machinery and structures are carried out as required by the
Safety Management System (SMS)

2. Maintenance and inspection routines are carried out by
competent officers/personnel and under supervision of heads
of department

3. All life saving appliances and fire fighting equipment are in
good working condition and ready for immediate use
4.
Records of inspection, maintenance, testing and calibration are
readily available
Maintenance and inspection routines

5. Inspection and maintenance continued
5. Identified defects and deficiencies are acted on promptly and

their status is controlled, including the appropriate follow up
6. Defects and deficiencies have been reported to the company,

classification society, flag administration, recognised organisation
and/or port authorities as necessary

7. Sufficient spare parts are available for the safe operation of the
ship in accordance with the requirements of the SMS
8. The status of requisitions is controlled
9. Housekeeping, cleanliness and hygiene are satisfactory in all

areas
10. Equipment and technical systems, the sudden operational

failure of which may result in hazardous situations, have been
identified. Maintenance has been carried out as required and
sufficient spare parts are available
Note: Details of some of the above points can be found in the other port state
control pocket checklists produced by Lloyds Register: Port State Inspections;
Marine Pollution Prevention; Life Saving Appliances; Marine Fire Safety; and
ILO MLC all available from www.webstore.lr.org or www.ukpandi.com

6. Emergency preparedness
All seafarers are to be fully familiar with their duties and responsibilities in an
emergency situation and all emergency equipment is to be well maintained and
ready for use at all times.
1. Procedures are available for all potential emergency situations

2. The Muster List is up to date and meets SOLAS requirements

3. Fire Control Plans are up to date and reflect the equipment on
board. Fire plans are identical in all locations
4. All personnel are familiar with:

the alarm signals
their muster station
their duties in case of an emergency
5. A programme for drills and exercises

is in place (including all identified
potential emergency situations)
6. Drills and exercises are held and

documented as required
A lifeboat drill

6. Emergency preparedness continued
7. Drills and exercises are relevant, reviewed on completion and

learning points are identified

8. All emergency equipment is well maintained and ready for use

9. Emergency escapes are free from any obstruction
10. Emergency contact details for the company are readily available
11. Emergency contact details for the port including Agent, P&I
Club, Port Control/Harbour Master, pollution control and
emergency services are readily available
Notes:
1. The Muster List must include all details required by SOLAS Ch III Reg 37,
including clearly identified responsibilities and duties, defined substitutes
for key personnel and the identification of the officer(s) responsible for
maintenance and inspection of life saving appliances and fire fighting
equipment.
Drill notes:
1. Some PSC officers will require the crew to carry out abandon ship and
fire drills. The crew must be able to demonstrate familiarity with the
equipment and be able to carry out their duties quickly and competently.
2. It is advisable to use different scenarios when carrying out drills so that the
crew is ready and prepared for different emergency situations. Ensure that
details of these drills are recorded.
3. Photographic records with dates as evidence of drills being held can be
used.

7. Shipboard operations
Procedures, plans and instructions are to be established and implemented for key
shipboard operations concerning the safety of personnel, the ship and protection
of the environment.
1. Procedures are available for all key shipboard operations
2. Responsibilities and duties are clearly assigned to qualified

personnel

3. All personnel are familiar with their duties and responsibilities
4. Procedures are implemented effectively and records

maintained as required
Note:
Examples of key shipboard operations include:
cargo and ballast operations
voyage planning and navigation
pre-arrival and departure checks
watch keeping
bunkering operations
management of oily residues, sludge and oily water
safe working procedures such as enclosed space entry, hot work,
working aloft/over the side
garbage handling

8. ISPS
Ship Security Controls are to be established and implemented at all times.
1. Access control procedures are clearly implemented and the

personnel in charge of access control are familiar with
their duties

2. The Ship Security Plan (SSP) and related records are protected
from unauthorised access or disclosure

3. The relevant officers are aware of those parts of the SSP to
which limited access may be allowed (see ISPS Code)
4. The security level is set correctly as required by the flag

administration and port authorities and all personnel are
aware of the current level
5. Ships stores are checked on receipt

and stowed promptly, in accordance
with levels set by the SSP
6. All security equipment is maintained,

calibrated and tested as required by
their manuals and the SSP
Security search in progress

8. ISPS continued
7. Drills are carried out regularly as per the ISPS Code and the SSP

8. Restricted Areas are clearly identified and marked as required
by the SSP. Access to and activity within Restricted Areas is
controlled as required by the SSP

9. Searches are carried out in accordance with the level set by
the SSP
10. The Ship Security Alert System (SSAS) is operational and records
for tests and maintenance are available
11. The Company Security Officer (CSO) or designated

representative is available at all times. The CSO can be readily
identified by the Ship Security Officer (SSO) and applicable
officers and crew. Contact details are available
12. Security arrangements do not compromise safety (see Notes)
13. Records are maintained and retained as required by the SSP

and ISPS Code A 10.1
Notes:
1. Security arrangements should not prevent immediate access to life
saving appliances, fire fighting equipment and SOPEP materials in an
emergency situation.
2. It must be possible to open doors along escape routes from both sides
(MSC Circ.1120 refers). This includes emergency escapes and doors to the
accommodation and wheelhouse.

Lloyds Register (LR) is a global engineering, technical and business services organisation wholly owned
by the Lloyds Register Foundation, a UK charity dedicated to research and education in science and
engineering. Founded in 1760 as a marine classification society, LR now operates across many industry
sectors, with over 9,000 employees in 78 countries. LR has a long-standing reputation for integrity,
impartiality and technical excellence. Our compliance, risk and technical consultancy services give clients
confidence that their assets and businesses are safe, sustainable and dependable.
Lloyds Register and variants of it are trading names of Lloyds Register Group Limited, its subsidiaries and
affiliates. Copyright Lloyds Register Group Limited. 2014. A member of the Lloyds Register group.
To order additional copies of this pocket checklist and others in the series, please visit www.lr.org/psc
Lloyds Register EMEA Lloyds Register Asia Lloyds Register Americas, Inc.
T +44 20 7709 9166 T +852 2287 9333 T +1 281 675 3100
E emea@lr.org E asia@lr.org E americas@lr.org
One of the worlds largest P&I mutuals, the UK P&I Club currently insures
around 200 million gross tons of owned and chartered ships in 60 countries.
The Club publishes loss prevention material through a wide range of media
on topics such as hazardous cargo in containers, human error, personal injury
and maritime security.
The full range of Club activities can be viewed at www.ukpandi.com
London Hong Kong New Jersey

T +44 20 7283 4646 T +852 2832 9301 T +1 201 557 7300
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Working together

for a safer world

ISM and ISPS pocket checklist

ISM and ISPS Revision 2 Page 2

If equipment is broken or missing, or if the ship has suffered damage en-route,

If your ship is detained, or appears to be in the process of being detained, you

Paris MOU www.parismou.org

Other MOUs include Abuja, Black Sea, Caribbean, Indian Ocean,

ISM and ISPS Revision 2 Page 3

Maintenance of the ship and equipment (131)

Development of plans for shipboard operations (69)

Reports and analysis of non-conformities, accidents and hazardous occurrences (29)

Emergency preparedness (26)

Company responsibility and authority (20)

Masters responsibility and authority (20)

Resources and personnel (20)

ISM-related deficiencies (14)

Other (ISM) (11)

Company verification, review and evaluation (9)

Certification, verification and control (7)

Safety and environmental policy (7)

Designated person(s) (4)

ISM and ISPS Revision 2 Page 4

1. Gangway and moorings

3. Appearance of gangway watch, officers

5. PSC Officer should be accompanied by senior officer(s) during

ISM and ISPS Revision 2 Page 5

2. A copy of the companys Document of Compliance (DoC) with

3. Safety Management Certificate (SMC)

4. International Ship Security Certificate (ISSC)

5. The latest issue of the Continuous Synopsis Record (CSR) (see

ISM and ISPS Revision 2 Page 6

9. Ships library, documentation and manuals are valid, complete

10. The approved Ship Security Plan (SSP) is available, including

ISM and ISPS Revision 2 Page 7

1. The Masters reviews are carried out as required and identified

2. Internal audits are held as required by the Safety Management

3. External audits are held as required by the ISM Code. Reports

4. Procedures for reporting non-conformities, accidents, incidents

5. All identified risks to the companys ships, personnel and

Reviewing the Safety

ISM and ISPS Revision 2 Page 8

1. The number of personnel meets the requirements of

2. Up-to-date crew list is available

4. Medical fitness certificates are available for all personnel

5. Crew members have received familiarisation and other

6. Crew members are familiar with:

8. The Ship Security Officer (SSO) is trained and certified in

ISM and ISPS Revision 2 Page 9

9. All personnel can communicate effectively in the working

11. The Masters responsibility and authority is clearly defined,

ISM and ISPS Revision 2 Page 10

1. Inspection and preventative maintenance of all equipment,

Maintenance and inspection routines

ISM and ISPS Revision 2 Page 11

5. Identified defects and deficiencies are acted on promptly and

6. Defects and deficiencies have been reported to the company,

8. The status of requisitions is controlled

9. Housekeeping, cleanliness and hygiene are satisfactory in all

10. Equipment and technical systems, the sudden operational

ISM and ISPS Revision 2 Page 12

1. Procedures are available for all potential emergency situations

4. All personnel are familiar with:

5. A programme for drills and exercises